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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 40A:16.6 Look-Back for New MAPs ..............................40A-38 § 40A:16.7 Exemptions ....................................................40A-39 § 40A:16.8 Ban on Soliciting Political Contributions.......40A-39 § 40A:16.9 Indirect Violations..........................................40A-40 § 40A:16.10 Disclosure ......................................................40A-40 § 40A:16.11 Record-Keeping Requirement .........................40A-40 PART XIII: Retirement Marketplace Chapter 41 Reserved Chapter 42 ERISA Compliance Issues for Broker-Dealers W. Mark Smith § 42:1 Introduction.................................................................. 42-4 § 42:2 ERISA Regulatory Structure.......................................... 42-5 § 42:2.1 Scope of ERISA ..................................................... 42-5 § 42:2.2 General Fiduciary Standards................................. 42-6 [A] Definition of a “Fiduciary” ................................... 42-7 [B] Investment Advice Fiduciaries .............................. 42-9 § 42:2.3 Prohibited Transaction Rules .............................. 42-14 § 42:2.4 Acting As Broker................................................. 42-18 [A] Fiduciary Status .................................................. 42-18 [B] Party in Interest Status ....................................... 42-19 § 42:3 ERISA Objectives of Retaining an Investment Professional................................................................. 42-19 § 42:3.1 Satisfying the Plan Fiduciary’s Own Duty.......... 42-19 § 42:3.2 Delegating Investment Accountability to an Investment Manager...................................... 42-20 § 42:3.3 Obtaining Broad Section 406(a) Relief for Investment Transactions..................................... 42-21 § 42:3.4 Obtaining Relief for Default Investments ........... 42-22 § 42:3.5 Obtaining Relief for Investment Advice Programs ................................................. 42-22 § 42:4 Acting As an Investment Fiduciary ............................ 42-22 § 42:4.1 Fiduciary Accountability ..................................... 42-22 § 42:4.2 Necessary Services Exemption ............................ 42-24 [A] Application to Broker-Dealers............................. 42-25 [B] Flat Fee Arrangements ........................................ 42-27 [C] Payment by Plans of Performance-Based Compensation .................................................... 42-27 [D] New Conditions for Brokers and Certain Other Service Providers.......................... 42-29 cxxxii

§ 42:4.3 Exclusive Benefit Rule......................................... 42-31 § 42:4.4 Prudence Rule ..................................................... 42-32 § 42:4.5 Diversification..................................................... 42-33 § 42:4.6 Compliance with Plan Documents..................... 42-33 § 42:4.7 Trust Requirement .............................................. 42-33 § 42:4.8 Indicia of Ownership .......................................... 42-34 § 42:4.9 Bonding............................................................... 42-35 § 42:4.10 Reporting and Participant Disclosure.................. 42-35 § 42:4.11 Disqualification for Criminal Convictions ......... 42-36 § 42:4.12 Best Execution .................................................... 42-36 § 42:4.13 Fee Sharing and Indirect Compensation............. 42-37 § 42:5 Trading and Execution................................................ 42-44 § 42:5.1 Transactions in Which a Broker-Dealer Acts As Broker (Agency Transactions).............................. 42-45 [A] Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-45 [B] Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-51 § 42:5.2 Principal Transactions Between a Plan and a Broker-Dealer Acting As a Dealer .................... 42-51 [A] Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-51 [B] Plans with Respect to Which a Broker-Dealer [C] Is Not a Fiduciary But Is a Party in Interest....... 42-52 Special Exemption for Principal Transactions Involving American Eagle Gold and Silver Bullion Coins............................................ 42-53 § 42:5.3 Purchase of Securities from a Broker-Dealer As Underwriter or From an Underwriting Syndicate of [A] [A][1] [A][2] Which a Broker-Dealer Is a Member................... 42-54 Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-54 Situation 1: Broker-Dealer or Other Plan Fiduciary Is Syndicate Manager .... 42-55 Situation 2: Plan Fiduciary Is Not Syndicate Manager; Plan Purchases From Syndicate Member Other Than the Fiduciary ................. 42-56 [B] Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-57 § 42:5.4 Acting As Market-Maker .................................... 42-57 [A] [B] Table of Contents Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-57 Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-58 (Broker-Dealer Reg., Rel. #3, 5/13) cxxxiii

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